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Establishing a research agenda - Nigel Dann, Derek Worthing and Stephen Bond Abstract This paper examines some of the key aspects of the process of maintenance management of the built cultural heritage. It is primarily based on responses to a questionnaire from a number of maintenance managers all of whom are responsible for significant stocks of historic buildings within their portfolios. The research identifies two types of organisation; ‘heritage focused’ and ‘non-heritage focused’. It examines differences in approach between them in the following key areas, aims and objectives of the organisation, the use of external consultants and condition surveys, prioritisation and costs. The paper identifies areas for further research, it also suggests that the identification of cultural significance embodied in the fabric of historic buildings and consideration of its vulnerability should be a prerequisite for determining approaches to maintenance management. Key words Maintenance management, Historic buildings, Cultural significance, Conservation principles, Condition surveys, Prioritisation.
Conservation maintenance management - Establishing a research agenda Nigel Dann, Derek Worthing and Stephen Bond "Maintenance is the single most important conservation process. Whether the place is architectural, mechanical or botanical, prevention is better than cure." (Semple Kerr 1996)
INTRODUCTION This paper presents a preliminary evaluation of a questionnaire intended to examine some key aspects of the process of managing the maintenance of the built cultural heritage. It focuses on estates that contain significant numbers of listed buildings, scheduled ancient monuments or buildings contained within conservation areas. Throughout this paper we will refer to them as ‘historic buildings’. The purpose of the questionnaire is to highlight an agenda for further research in an area that currently has little published research.
With his call, in 1897, to ‘..put protection in the place of restoration, to stave of decay by daily care’, William Morris (1877) highlighted importance that maintenance plays in protecting historic buildings. National and international guidelines all emphasise the importance of regular maintenance based on the principle of minimal intervention. The Burra Charter (ICOMOS, Australia 1979) defines conservation as being ‘all of the processes of looking after a place so as to retain cultural significance’. It goes on to state that ‘the cultural significance of a place is embodied in its fabric, its setting and its contents.’ The charter develops this by stressing that retaining cultural significance must necessarily involve the least possible intervention. The Venice Charter (ICOMOS 1964) states ‘it is essential to the conservation of monuments that they be maintained on a regular basis’. Other international guidelines and codes for conservation all make similar points. BS 7913:1998 ‘The Principles of the Conservation of Historic Buildings’ (BSI, 1998) states that ‘systematic care based on good housekeeping is both cost effective and fundamental to good conservation’ The British Standards Institute describes maintenance as ‘ A combination of any actions carried out to retain an item in, or restore it to, an acceptable condition’ (BSI, 1964). For the maintenance of the majority of buildings, the distinction between repair, restoration and improvement will not be conceptually important (although it might be procedurally important). However, for historic buildings these definitions, and the action, which could follow, are of fundamental importance. The essential aim of maintenance when dealing with non-historic buildings is to retain a continuity of function (weathertightness, appearance, etc.). For historic buildings, in addition to the continuity of function, it is the fabric itself that is important because of its cultural significance - the building itself is an artefact. ‘As little as necessary, as much as possible’ is a commonly expressed maxim in regard to conserving historic buildings and is a concept which adds another dimension to debates about planned-preventive, planned and response maintenance. The Burra Charter (ICOMOS,1979) specifically defines maintenance as ‘the continuous protective care of the fabric, and is to be distinguished from repair’. Obviously repair works are inevitable from time to time. However in most cases repair will involve restoration or reconstruction and needs to be treated with caution. Repair works can of course be seen to contribute to the historical development of the fabric – authentic, if not original. Whatever action is proposed it must be borne in mind that the overall aim is to retain cultural significance. The principles to be considered during repair and maintenance work to historic buildings are set out in some detail in English Heritage’s‘The Repair of Historic Buildings’ (Brereton, 1991), in the Society for the Protection of Ancient Building’s (SPAB) ‘The purpose of SPAB’ (SPAB, 1987) and more recently in BS 7913. These remain a practical guide to conservation principles in action and include:
What is not explicitly contained in these documents is consideration of broader ‘first principles’ reinforcing the need to determine cultural significance and vulnerability. Recent guidance (Feilden & Jokilheto, 1992 and Kerr Semple 1996) is developing these two themes, of cultural significance and vulnerability, in relation to the wider management of built cultural heritage. This guidance emphasises that two factors need to be understood and articulated: · What it is about a place that makes it culturally significant? · What threats are there to the factors which make it culturally significant? We suggest that these ideas should become part of maintenance management planning. The determination of significance will raise a number of questions about authenticity, originality etc., that in turn raise questions of relative value and prioritisation. There is general agreement that maintenance is a key process in the care of historic buildings. Yet, despite a number of significant and distinctive responsibilities imposed on those managing them, there has been little published discussion regarding the differences in approach that should be taken toward their maintenance management. We would suggest that when you move from a position where property is a resource, which might help deliver corporate goals, to a situation where the goal is the care and retention of cultural significance, this must entail a rethink of approaches to be adopted. THE SCOPE OF THE PRIMARY RESEARCH Two types of organisation with portfolios containing a variety of historicbuildings were identified for the purposes of this research:
The majority of historic buildings are individually owned - these remain outside the scope of this research. We asked how and why the respondents carried out certain tasks (and within what context). Our purpose was to:
The range of organisations sampled, although not a statistically valid sample across the range of different organisations responsible for managing historic buildings, was valid for the purposes of establishing a research agenda. The questionnaire specifically asked the respondents about the care of historic buildings within their estate. It was sent to 60 maintenance managers, 36 of these returned the questionnaire. The respondents covered the following organisational types:
The principal focus of activity of the respondent’s organisations varied considerably. 17% of the organisations were focused specifically on caring for historic buildings, 62% were property-based organisations with a significant proportion of historic buildings within its portfolio. The remainder were not property based but retained a significant responsibility for historic buildings. 66% were public sector organisations, 34% were private sector. In terms of location 38% were city based, 33% were regionally based, 16% county based, 13% were national. The respondents collectively cared for 1431 Scheduled Ancient Monuments, 5028 non-listed buildings contained within Conservation Areas and 10,016 listed buildings. The ratio of different grades differed from the national pattern; Grade I 7% (nationally 2%) Grade II* 13% (nationally 4%) Grade II 80% (nationally 94%) RESEARCH DEVELOPMENT AND METHODOLOGY In developing the research methodology the authors drew upon the substantial body of experience at UWE into maintenance management across a variety of sectors (See for example Holmes & Spedding, 1992, Marshall & Worthing, 1998 and Spedding, 1987). In 1995 the authors carried out a consultancy project which looked at the effectiveness and efficiency of the maintenance management organisation within English Heritage. Additionally one of the authors has extensive experience of the management of historic buildings, latterly as Surveyor to the Fabric of Historic Royal Palaces. The focus of the research was developed from this previous work via interviews with selected maintenance managers of historic buildings. From this a draft questionnaire was formulated and piloted. After comments were received back a number of redrafts of the questionnaire were undertaken. The final version of the questionnaire contained 45 questions which covered an extensive range of issues, however this paper examines the following key areas:
INTERPRETATION OF THE QUESTIONNAIRE AIMS & OBJECTIVES OF THE ORGANISATIONS An important management requirement for any organisation is that its primary aims are clearly and explicitly formulated and disseminated. Maintenance management policies (and attendant procedures) should both reflect and support the delivery of these overall aims. The fundamental factor concerning estates containing historic buildings, which should affect the approach adopted toward maintenance management, is that the fabric has cultural significance and is important in itself - not just because of the function it performs. We could assume that for heritage focused organisations, conservation principles (as outlined in the context section) are incorporated with the overall aims and objectives of the organisation and cascade down the organisation. However, with respect to organisations whose core aims and objectives are not heritage focused, we were interested in how conservation principles were both incorporated and disseminated. We asked if the respondent’s organisation had explicit conservation principles guiding the maintenance management process for historic buildings in their care: TABLE I Of the heritage focused organisations
Of the non-heritage focused organisations
Commentary
Without an explicit statement of conservation principles we can suggest that there is a danger that the fundamental ideas of significance and vulnerability could be overlooked. TABLE II Of the heritage focused organisations
Of the non-heritage focused organisations
Commentary
TABLE III In the heritage focused organisations
In the non-heritage focused organisations
Commentary
The respondents were asked to indicate what was currently incorporated into the organisation's conservation principles: TABLE IV In the heritage focused organisations,
In the non-heritage focused organisations,
Commentary
Summary
SPECIALISED EXTERNAL CONSULTANTS Employing specialised and expert advice is a considerable management responsibility in many estates. Given the significance and potential vulnerability of the historic fabric, achieving an appropriate balance of familiarity and expertise should be a particular concern for maintenance managers of historic buildings. The degree of concern may reflect the conservation sensitivity of the particular specialised service in question. For historic buildings it could be considered irresponsible for the maintenance organisation to pass control of particular aspects of its care entirely to others. 94% of the respondents made use of external consultants The respondents were asked to identify all the reasons for using external consultants: TABLE V In the heritage focused organisations
In the non-heritage focused organisations
The respondents were asked to describe how their organisation ensured that external consultants were informed of any conservation principles and policies: TABLE VI In the heritage focused organisations
In the non-heritage focused organisations
The respondents were asked to describe the extent to which they were involved in the appointment of external consultants and to what degree they were involved in monitoring the external consultant's work: TABLE VII In the heritage focused organisations
In the non-heritage focused organisations
Commentary The respondents were asked to indicate which maintenance management activities were usually carried out in-house or by external consultants (NB where the percentages do not add up to 100%, a number of the respondents failed to respond to the question): TABLE VIII In the heritage focused organisations
In the non-heritage focused organisations
Commentary
Summary
CONDITION SURVEYS It is clear that condition surveys play a major role in the maintenance management process, irrespective of building type. Indeed this function is so important that for churches, undertaking them is enshrined in legislation. Condition surveys are also a significant resource burden. Yet it is clear from the experience, research and consultancy of the authors, that a frequent problem with such surveys is a failure to establish a clear and coherent rationale and methodology for undertaking them. Potentially this results in scarce resources being wasted;
For the built cultural heritage there is an additional danger: that decisions made on ill thought out and ill-informed information can result in the loss of culturally significant fabric. The respondents were asked to indicate whether they undertook condition surveys of their historic buildings: TABLE IX
The respondents were asked to identify all the purposes for which they undertake condition surveys: TABLE X In heritage focused organisations
In non-heritage focused organisations
Commentary
The respondents were asked to indicate the frequency of the inspection cycles for their historic buildings: TABLE XI Of the heritage focused organisations
Of the non-heritage focused organisations
The remainder inspected their historic buildings at a variety of intervals. Commentary
The respondents were asked whether the condition surveys provided them with a prompt for re-inspection or intervention of particular elements: TABLE XII
The respondents were asked whether their condition survey provided a clear prioritisation for repairs or maintenance: TABLE XIII
The respondents were asked whether the organisation produced an assessment of the relative significance of different elements and materials of the historic fabric contained within their stock: TABLE XIV Of the heritage focused organisations
Of the non-heritage focused organisations
The respondents were asked to list all the ways in which they gave priority to particular materials or elements: TABLE XV Of the heritage focused organisations
Of the non-heritage focused organisations
Commentary
Planned-preventive/ planned/response maintenance We asked respondents to indicate what proportion of their maintenance was carried out as planned-preventative, planned or response maintenance. It was clear from the replies that were received back that although there were distinctive trends within both groups of organisations there were a number of issues that required further research development. In particular the organisation's distinction between what we term "housekeeping maintenance" and "repair and replacement maintenance". As previously suggested, there is a dual purpose to repair strategies for historic buildings: retaining cultural significance as well as functional performance. For the fabric of historic buildings, generally, protection of its cultural significance should be the prioritiy. However in many circumstances judgements will be affected by the relative importance of the functional performance of the elements. These issues are currently the subject of further research.
Costs There are a number of issues which can impact on both the overall perception of value-for-money and the direct costs involved in maintenance management for historic buildings:
All of these can add considerably to the costs of maintenance for historic buildings. A figure of costs five-times those in non-historic portfolios is commonly quoted. We were interested to gauge the respondent's knowledge of the additional costs for maintaining historic buildings. They were asked to indicate from statistical evidence whether maintenance and repair to historic buildings was more expensive than historic buildings: TABLE XVI In the heritage focused organisations
In the non-heritage focused organisations
Commentary
Summary
CONCLUSION The purpose of this paper was to begin to develop a research agenda in the area of maintenance management of historic buildings. The research identified two types of organisation; the heritage focused and the non-heritage focused. As a result of the research we have raised a number of questions over how maintenance management of the built cultural heritage is conceived and executed. Although these concerns apply to both types of organisations, more questions were raised by the approaches adopted by the non-heritage focused organisations. Given that the non-heritage focused organisations manage a significant amount of the built cultural heritage we would suggest that further work focussing on organisational type (eg. local authorities, universities, private sector etc.) would be of value. This preliminary evaluation of our research programme has enabled us to draw some initial conclusions in regard to the maintenance management of the built cultural heritage;
The research also reinforces our suggestion that the cultural significance and vulnerability of the built cultural heritage needs to be explicitly identified before a coherent maintenance management plan and process can be devised and implemented. The determination of significance will raise a number of questions about authenticity, originality etc., that in turn raises questions of relative value: the idea of relative value combined with an assessment of vulnerability, will provide a framework for prioritisation and therefore aid in the development of an effective methodology for maintenance management.
Bibliographic references Brereton, C (1991) The Repair of Historic Buildings English Heritage, London. British Standards Institute (1998) A Guide to the Principles of the Conservation of Historic BuildingsBS7913:1998, BSI, London. British Standards Institute (1964) Glossary of General Terms used in Maintenance Organisations BS3811:1964, BSI, London. Feilden, B, Jokilheto, J (1993) Management Guidelines for World Cultural Heritage Sites ICCROM Rome. Holmes,R. Spedding, A, (1992) Co-ordinated databases and budgeting for effective property management Report to SERC GR/F 2610. ICOMOS (Australia) (1979) The Burra Charter ICOMOS (Australia). ICOMOS (1961) The Venice Charter ICOMOS, London. Kerr Semple, J.(1996) Conservation Plans for Places of European Significance, NTNSW Sydney. Marshall, D Worthing,D (1998). Housing Condition Surveys Housing Corporation, London. Morris, W (1877) The SPAB Manifesto SPAB, London. The SPAB (1987) The purpose of SPAB, SPAB, London (1923 revised 1987). Spedding, A (1987)Mangagement of Maintenance-the need for and uses of data Building Maintenance, Economics and Management, Spon, London. Profiles Nigel Dann has a crafts background and latterly worked professionally as a Building Surveyor. Currently he is a lecturer and researcher in the Faculty of the Built Environment at University of the West of England, Bristol. He is a member of the Conservation Management Group. Nigel Dann BSc. (Hons), MIOC Derek Worthing has a professional background in Building Surveying and is currently Principal Lecturer in the Faculty of the Built Environment at the University of the West of England, Bristol. He is a member of the Conservation Management Group, a research team within the Faculty, and award leader for the MA in 'Conserving of Buildings and their Environments'. Derek Worthing BSc.,M.Phil, ARICS Stephen Bond is the Managing Partner of TFT Cultural Heritage. Prior to this he was Director of the Tower Environs Scheme and Surveyor to the Fabric of Historic Royal Palaces. An Archaeologist by education and a Building Surveyor by profession, he is Course Director for the RICS post-graduate diploma in Building Conservation at the College of Estate Management and a trustee of COTAC. He is Visiting Fellow at the University of the West of England, Bristol and holds an honarary doctorate from De Montfort University Stephen Bond MA HonDArt ARICS GradDipl ConsAA
From Structural Survey Vol 17 No 3 1999
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